shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or
person responsible for managing information security incidents; (3) report any information security events to the responsible person under (2) and the SEC Office without delay; (4) carry out testing of
on the operation of intermediaries, investors, and confidence in the capital market. Senior management, therefore, has an important role in managing the implementation of information technology in the
work for such persons to have full or partial managing power in the securities company.
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
an intermediary under receivership by court order for the benefit of managing the clearing and settlement of derivatives or securities of clients , and for the management of clients’ assets having no
investor unless the units were acquired through inheritance. (b) when the infrastructure asset is completely developed, the management company shall proceed as necessary to allot all units to the general
notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the
information or system. Clause 7. The securities company must provide a controlling measure which is sufficient for the developed or modified application software to have a correct, and complete data processing
person to access to the record. [M] Change Management. Objective . Change Management have an objective for rendering the developed or altered computer system having the correct and complete integrity which